RIA Intelligence
Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.
The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.
D•••••••• N••••• D••••
- S•••••••• A••••••• L•• national BD currentsince Mar 31, 2025 · Chandler, Az
- F••••••• P••••••• A•• W•••••••• A••••••• formerOct 13, 2021 to Mar 31, 2025 · Scottsdale, Az
- M•• I•••••••• S•••••••• L•• BD affiliatedMar 25, 2017 to Jul 23, 2021 · Cincinnati, Oh
- M•• F•••••••• S•••••••• I••• formerFeb 24, 2016 to Mar 25, 2017 · Cincinnati, Oh
- L••••••• F•••••••• G••••• I••• formerJan 10, 2014 to Jul 2, 2015 · Miamisburg, Oh
- F••••••• P••••••• A•• W•••••••• A••••••• to S•••••••• A••••••• L••left Mar 31, 2025, registered Mar 31, 2025 (0 days) · corporate re-registration, not a move
- M•• I•••••••• S•••••••• L•• to F••••••• P••••••• A•• W•••••••• A•••••••left Jul 23, 2021, registered Oct 13, 2021 (82 days) · Affiliated broker-dealer or bank to another
- M•• F•••••••• S•••••••• I••• to M•• I•••••••• S•••••••• L••left Mar 25, 2017, registered Mar 25, 2017 (0 days) · corporate re-registration, not a move
- L••••••• F•••••••• G••••• I••• to M•• F•••••••• S•••••••• I•••left Jul 2, 2015, registered Feb 24, 2016 (237 days) · Other
Mobility scoring is not published yet. The observable conditions this page will draw on once the historical validation is done: tenure, the firm’s own departures and ownership changes, new state registrations, a new adviser entity with this person on Schedule A, and colleagues’ moves. Until precision and lead time are measured on known moves, no label is printed. Read the methodology.
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- National broker-dealer RIAderived
- Years in industry
- 12derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address